Search for: "In Re Securities and Exchange Commission"
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14 Jan 2016, 5:10 pm
In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
11 Jan 2016, 11:16 am
On October 29, the Commission also published FAQs on the SFT Regulation. [read post]
6 Jan 2016, 9:05 am
Securities and Exchange Commission (SEC), Chapter 11 allows a business to reorganize and engage in the efforts necessary to become profitable. [read post]
4 Jan 2016, 4:08 pm
It was an eventful year in the world of directors’ and officers’ liability in 2015. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
31 Dec 2015, 9:30 pm
Securities and Exchange Commission (SEC) will issue a final rule mandating that publicly traded companies disclose compensation numbers for high-level executives, the Consumer Financial Protection Bureau (CFPB) is expected to issue a proposed rule that would ban companies from including mandatory arbitration clauses in their consumer contracts, and the U.S. [read post]
27 Dec 2015, 9:25 pm
“The technology isn’t that secure, so you’re trusting people not to use it and be responsible. [read post]
20 Dec 2015, 7:13 am
[2] In so doing, the employer re-invigorated the debate over whether Dodd-Frank’s anti-retaliation protections cover individuals who report to their employers, as opposed to contacting the Securities and Exchange Commission (“SEC”). [read post]
14 Dec 2015, 3:00 am
SEC Fails To Destroy Daspin Death Star Over Cloud City Of DaspinA long time ago in a regulatory galaxy far away, the Securities and Exchange Commission Empire was engaged in a period of civil litigation. [read post]
14 Dec 2015, 2:54 am
A long time ago in a regulatory galaxy far away, the Securities and Exchange Commission Empire was engaged in a period of civil litigation. [read post]
11 Dec 2015, 1:21 pm
A few more brief exchanges and Ruiz too is done. [read post]
9 Dec 2015, 3:00 am
In September it agreed to pay a $75,000 fine and be censured to settle Securities & Exchange Commission charges that it failed to safeguard clients’ personal data. [read post]
8 Dec 2015, 10:30 am
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
30 Nov 2015, 7:17 am
There has been considerable discussion in the compliance community around the Securities and Exchange Commission bringing charges against compliance officers. [read post]
27 Nov 2015, 9:39 am
His willingness to defer to the national security state occurred most clearly during World War II and later in his work as Chair of the Warren Commission. [read post]
26 Nov 2015, 9:30 pm
Securities and Exchange Commission (SEC) administrative law judges allegedly favor the SEC in their decisions, causing unfair hearings for defendants. [read post]
